13F-HR filed by B. Riley Wealth Management, Inc.
B. Riley Wealth Management, Inc. filed this 13F-HR for the quarter ended 2014-03-31, filed 2014-06-12, with 1,096 holding rows worth $135,445,000.
- Accession
- 0001599892-14-000001
- Filer
- CIK 1599892
- Filed
- 2014-06-12
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2014
A holdings report, 1,096 entries on the cover page, a total value of $135,445,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $135,462,000 with VALUE read as thousands by filing date, 13F file number 028-16196. The quarter's positions are built on this report. The resolved quarter.
The information table after summing rows of one CUSIP and put or call (H4), with the CUSIP and issuer name as filed. Values in dollars after the unit check (method).
| Issuer as filed | CUSIP | Class | Amount | Value | Value read as | Type |
|---|---|---|---|---|---|---|
| PAYCHEX INC | 704326107 | COM | 858 | $37,000 | thousands by filing date | |
| WESTERN DIGITAL CORP | 958102105 | COM | 400 | $37,000 | thousands by filing date | |
| DIAGEO PLC SPON ADR NEW | 25243Q205 | ADR | 300 | $37,000 | thousands by filing date | |
| GENUINE PARTS CO COM | 372460105 | Stock | 422 | $37,000 | thousands by filing date | |
| ISHARES TR | 464288638 | ISHS 5-10YR INVT | 342 | $37,000 | thousands by filing date | |
| TWITTER INC | 90184L102 | COM | 800 | $37,000 | thousands by filing date | |
| STATE STREET SPDR ETF S&P RETAIL | 78464A714 | ETF | 438 | $37,000 | thousands by filing date | |
| XEROX CORP | 984121103 | COM | 3,281 | $37,000 | thousands by filing date | |
| ARMOUR RESIDENTIAL REIT IN | 042315101 | COM | 9,000 | $37,000 | thousands by filing date | |
| EGA EMERGING GLOBAL SHS TR | 268461845 | CMN | 3,266 | $37,000 | thousands by filing date | |
| BLACKROCK MULTI-SECTOR INCOME | 09258A107 | COM | 2,000 | $36,000 | thousands by filing date | |
| ALLIANZGI EQUITY & CONV INCO | 018829101 | COM | 1,850 | $36,000 | thousands by filing date | |
| ACE LTD | H0023R105 | SHS | 364 | $36,000 | thousands by filing date | |
| POWERSHS DB US DOLLAR INDEX DO | 73936D107 | COM | 1,695 | $36,000 | thousands by filing date | |
| Netflix, Inc | 64110L106 | COM | 100 | $35,000 | thousands by filing date | |
| GARTNERINC | 366651107 | STOK | 500 | $35,000 | thousands by filing date | |
| ARROWMARK FINANCIAL CORP | 861780104 | COM | 1,405 | $35,000 | thousands by filing date | |
| ASGN INC | 682159108 | COM | 900 | $35,000 | thousands by filing date | |
| Schlumberger Limited | 806857108 | COM | 350 | $34,000 | thousands by filing date | |
| Vanguard S&P 500 ETF | 922908363 | COM | 200 | $34,000 | thousands by filing date | |
| CANADIANNATLRYCOF | 136375102 | STOK | 600 | $34,000 | thousands by filing date | |
| DIAMONDBACK ENERGY INC COM | 25278X109 | Stock | 500 | $34,000 | thousands by filing date | |
| EOG RES INC COM | 26875P101 | Stock | 175 | $34,000 | thousands by filing date | |
| VODAFONE GROUP PLC SPONSORED ADR | 92857W308 | ADR | 911 | $34,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R775 | ACTIVE BD ETF | 316 | $34,000 | thousands by filing date | |
| SPDR SER TR | 78464A862 | S&P SEMICNDCTR | 492 | $34,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X749 | ST DOW GLOBA ETF | 785 | $34,000 | thousands by filing date | |
| LORILLARD INC | 544147101 | COM | 636 | $34,000 | thousands by filing date | |
| T-Mobile US,Inc. | 872590104 | COM | 1,000 | $33,000 | thousands by filing date | |
| Texas Instruments Incorporated | 882508104 | COM | 708 | $33,000 | thousands by filing date | |
| Vanguard Small-Cap Growth ETF | 922908595 | SHS | 268 | $33,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R833 | ENHAN SHRT MA AC | 322 | $33,000 | thousands by filing date | |
| SLR INVESTMENT CORP | 83413U100 | COM | 1,500 | $33,000 | thousands by filing date | |
| DREW INDS INC | 26168L205 | COM NEW | 600 | $33,000 | thousands by filing date | |
| LOEWS CORP COM | 540424108 | Stock | 724 | $32,000 | thousands by filing date | |
| NEBIUS GROUP N.V. | N97284108 | SHS CLASS A | 1,050 | $32,000 | thousands by filing date | |
| RALPH LAUREN CORP | 751212101 | CL A | 201 | $32,000 | thousands by filing date | |
| AMBARELLA INC | G037AX101 | SHS | 1,200 | $32,000 | thousands by filing date | |
| PRUDENTIAL SHT DURATION HG Y | 74442F107 | COM | 1,749 | $32,000 | thousands by filing date | |
| SYNERGY PHARMACEUTICALS DEL | 871639308 | COM NEW | 6,100 | $32,000 | thousands by filing date | |
| GENERAL DYNAMICS CORP COM | 369550108 | Stock | 285 | $31,000 | thousands by filing date | |
| TORONTO DOMINION BK ONT COM NEW | 891160509 | Stock | 664 | $31,000 | thousands by filing date | |
| PUBLIC SVC ENTERPRISE GROUP COM | 744573106 | Stock | 817 | $31,000 | thousands by filing date | |
| B & G FOODS INC | 05508R106 | COM | 1,030 | $31,000 | thousands by filing date | |
| CALAMOS CONVERTIBLE OPPORTUNIT | 128117108 | SH BEN INT | 2,230 | $31,000 | thousands by filing date | |
| DIRECTV | 25490A309 | COM | 400 | $31,000 | thousands by filing date | |
| BEMIS INC | 081437105 | COM | 800 | $31,000 | thousands by filing date | |
| APPROACH RESOURCES INC | 03834A103 | COM | 1,500 | $31,000 | thousands by filing date | |
| iShares Morningstar Mid-Cap Value ETF | 464288406 | SHS | 254 | $30,000 | thousands by filing date | |
| MARKELGROUPINC | 570535104 | STOK | 50 | $30,000 | thousands by filing date | |
| ONEOK INC NEW | 682680103 | COM | 502 | $30,000 | thousands by filing date | |
| DOUBLELINE INCOME SOLUTIONS | 258622109 | COM | 1,395 | $30,000 | thousands by filing date | |
| PLAINS ALL AMERN PIPELINE L | 726503105 | UNIT LTD PARTN | 544 | $30,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W851 | JAPN HEDGE EQT | 635 | $30,000 | thousands by filing date | |
| COHEN & STEERS INFRASTRUCTUR | 19248A109 | COM | 1,350 | $30,000 | thousands by filing date | |
| WISCONSIN ENERGY CORP | 976657106 | COMMON STOCK | 652 | $30,000 | thousands by filing date | |
| HARVEST CAP CR CORP | 41753F109 | COM | 2,000 | $30,000 | thousands by filing date | |
| HASBRO INC COM | 418056107 | Stock | 522 | $29,000 | thousands by filing date | |
| EATON VANCE ENHANCED EQUITY | 278277108 | COM | 2,226 | $29,000 | thousands by filing date | |
| RENASANT CORP | 75970E107 | COM | 1,000 | $29,000 | thousands by filing date | |
| ISHARES TR | 464289867 | CORE 60 BALA ETF | 747 | $29,000 | thousands by filing date | |
| VALEANT PHARMACEUTICALS INTL | 91911K102 | COM | 222 | $29,000 | thousands by filing date | |
| iShares Silver Trust | 46428Q109 | COM | 1,470 | $28,000 | thousands by filing date | |
| VALE S A | 91912E105 | SPONSORED ADS | 2,044 | $28,000 | thousands by filing date | |
| ALLSTATE CORP COM | 020002101 | Stock | 500 | $28,000 | thousands by filing date | |
| CHENIERE ENERGY INC COM NEW | 16411R208 | Stock | 500 | $28,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464a201 | ST STR SP600GRWO | 159 | $28,000 | thousands by filing date | |
| PRAXAIR INC | 74005P104 | COM | 213 | $28,000 | thousands by filing date | |
| THRESHOLD PHARMACEUTICAL INC | 885807206 | COM NEW | 5,800 | $28,000 | thousands by filing date | |
| NUVEEN LG/SHT COMMODITY TOTR | 670731108 | COM UT BEN INT | 1,700 | $28,000 | thousands by filing date | |
| Vanguard Dividend Appreciation ETF | 921908844 | SHS | 359 | $27,000 | thousands by filing date | |
| BLACKROCK GLOBAL OPP EQUITY TR | 092501105 | COM | 1,850 | $27,000 | thousands by filing date | |
| BLACKROCK INTERNATIONAL GROWTH | 092524107 | COM BENE INTER | 3,381 | $27,000 | thousands by filing date | |
| PROSHARES TR | 74347X849 | INDX FD | 900 | $27,000 | thousands by filing date | |
| TICC CAPITAL CORP | 87244T109 | COM | 2,800 | $27,000 | thousands by filing date | |
| iShares MSCI Frontier 100 | 464286145 | cs | 750 | $27,000 | thousands by filing date | |
| NORTH ATLANTIC DRILLING LTD | G6613P202 | COM | 3,000 | $27,000 | thousands by filing date | |
| AFLAC INC COM | 001055102 | Stock | 405 | $26,000 | thousands by filing date | |
| ISHARES INC MSCI SPAIN ETF | 464286764 | MSCI SPAIN ETF | 637 | $26,000 | thousands by filing date | |
| TWO HARBORS INVESTMENT CORP | 90187B101 | COMMON STOCK | 2,500 | $26,000 | thousands by filing date | |
| ING | 44977W106 | EXCHANGE TRADED | 4,400 | $26,000 | thousands by filing date | |
| ARLINGTON ASSET INVST CORP | 041356205 | CL A NEW | 1,000 | $26,000 | thousands by filing date | |
| WESTERN ASSET MTG CAP CORP | 95790D105 | COM | 1,645 | $26,000 | thousands by filing date | |
| CBRE GBL REAL ESTATE INC FD COM | 12504G100 | CEF | 3,000 | $25,000 | thousands by filing date | |
| WESCO INTL INC COM | 95082P105 | Stock | 300 | $25,000 | thousands by filing date | |
| FIRST TR NAS100 EQ WEIGHTED | 337344105 | SHS | 665 | $25,000 | thousands by filing date | |
| ARCELORMITTAL FUNSPONSORED ADR 1 ADR REPS 1 ORD SHS | 03938L104 | COM | 1,550 | $25,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TR I | 80007V106 | SH BEN INT | 3,388 | $25,000 | thousands by filing date | |
| RICE ENERGY INC | 762760106 | COM | 950 | $25,000 | thousands by filing date | |
| iShares iBoxx Inv Grade Corporate Bond ETF | 464287242 | SHS | 204 | $24,000 | thousands by filing date | |
| DOLLAR TREE INC COM | 256746108 | Stock | 452 | $24,000 | thousands by filing date | |
| DNP SELECT INCOME FD INC | 23325P104 | COM | 2,500 | $24,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 2,600 | $24,000 | thousands by filing date | |
| TOOTSIE ROLL INDS INC | 890516107 | COM | 817 | $24,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U506 | RUSSIA ETF | 1,000 | $24,000 | thousands by filing date | |
| POWERSHARES ETF TRUST HLTHCR S | 73935X351 | COM | 505 | $24,000 | thousands by filing date | |
| DIGITAL CINEMA DESTINATIONS | 25383B109 | CL A CO | 4,500 | $24,000 | thousands by filing date | |
| SPDR S&P 600 Small Cap Value ETF | 78464A300 | SHS | 209 | $23,000 | thousands by filing date | |
| Vanguard Consumer Discretionary ETF | 92204A108 | SHS | 215 | $23,000 | thousands by filing date | |
| AKAMAI TECHNOLOGIES INC COM | 00971T101 | Stock | 400 | $23,000 | thousands by filing date | |
| YUM BRANDS INC COM | 988498101 | Stock | 300 | $23,000 | thousands by filing date | |
| BANK OF AMER CORP | 060505682 | 7.25%CNV PFD L | 20 | $23,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A607 | ST STR DOW REIT | 300 | $23,000 | thousands by filing date | |
| INVESCO MORTGAGE CAPITAL INC | 46131B100 | COM | 1,400 | $23,000 | thousands by filing date | |
| ISHARES TR | 464288786 | U.S. INSRNCE ETF | 500 | $23,000 | thousands by filing date | |
| CARDTRONICS INC | 14161H108 | COMMON STOCK | 600 | $23,000 | thousands by filing date | |
| NEW SOURCE ENERGY PARTNERS L | 64881E109 | CMN | 1,000 | $23,000 | thousands by filing date | |
| PRANA BIOTECHNOLOGY LTD | 739727105 | SPONSORED ADR | 8,090 | $23,000 | thousands by filing date | |
| Amgen Inc. | 031162100 | COM | 182 | $22,000 | thousands by filing date | |
| iShares U.S. Financials ETF | 464287788 | SHS | 270 | $22,000 | thousands by filing date | |
| ARCHER DANIELS MIDLAND CO COM | 039483102 | Stock | 517 | $22,000 | thousands by filing date | |
| ALKERMES PLC | G01767105 | SHS | 500 | $22,000 | thousands by filing date | |
| INVESCO VALUE MUNICIPAL INCOME | 46132P108 | COM | 1,500 | $22,000 | thousands by filing date | |
| ISHARES MSCI NETHERLANDSETF | 464286814 | ETF | 860 | $22,000 | thousands by filing date | |
| CROSS TIMBERS RTY TR | 22757R109 | TR UNIT | 700 | $22,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X101 | CONSUMR DISCRE | 689 | $22,000 | thousands by filing date | |
| Targa Resources Partners, LP | 87611X105 | LTD | 394 | $22,000 | thousands by filing date | |
| WUXI PHARMATECH CAYMAN INC | 929352102 | SPONS ADR SHS | 600 | $22,000 | thousands by filing date | |
| POWERSHARES DB GOLD FUND | 73936B606 | DB G | 500 | $22,000 | thousands by filing date | |
| Accenture Plc Class A | G1151C101 | COM | 264 | $21,000 | thousands by filing date | |
| CSX Corporation | 126408103 | COM | 710 | $21,000 | thousands by filing date | |
| ISHARES MORNINGSTAR GROWTH ETF | 464287119 | ETF | 209 | $21,000 | thousands by filing date | |
| PLUG PWR INC | 72919P202 | COM NEW | 3,000 | $21,000 | thousands by filing date | |
| MS INDIA INVESTMENT (CL END) | 61745C105 | IFD | 1,051 | $21,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A102 | CORN FD SHS | 600 | $21,000 | thousands by filing date | |
| POWERSHARES | 73935S105 | EXCHANGE TRADED | 820 | $21,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A108 | COM | 3,763 | $21,000 | thousands by filing date | |
| TEEKAY LNG PARTNERS L P | Y8564M105 | PRTNRSP UNITS | 500 | $21,000 | thousands by filing date | |
| AMERIGAS PARTNERS MLP | 030975106 | COM | 500 | $21,000 | thousands by filing date | |
| NUVEEN PREMIER MUN INCOME FD | 670988104 | COM | 1,600 | $21,000 | thousands by filing date | |
| TRINITY INDS INC | 896522109 | COM | 275 | $20,000 | thousands by filing date | |
| COLGATE PALMOLIVE CO COM | 194162103 | Stock | 303 | $20,000 | thousands by filing date | |
| PPG INDS INC COM | 693506107 | Stock | 102 | $20,000 | thousands by filing date | |
| ROYCE VALUE TRUST | 780910105 | COM | 1,300 | $20,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD II | 018825109 | COM | 2,000 | $20,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J190 | GERMANY ALPHA | 463 | $20,000 | thousands by filing date | |
| MARTIN MIDSTREAM PRTNRS L P | 573331105 | UNIT L P INT | 458 | $20,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOM FD | 95766J102 | COM | 2,183 | $20,000 | thousands by filing date | |
| SANDRIDGE ENERGY INC | 80007P307 | COM | 3,250 | $20,000 | thousands by filing date | |
| ENDURO ROYALTY TRUST | 29269K100 | COMMON | 1,591 | $20,000 | thousands by filing date | |
| GUGGENHEIM CR ALLOCATION FD | 40168G108 | COM | 845 | $20,000 | thousands by filing date | |
| UNITED RENTALS INC COM | 911363109 | Stock | 200 | $19,000 | thousands by filing date | |
| CINCINNATI FINL CORP COM | 172062101 | Stock | 385 | $19,000 | thousands by filing date | |
| TELEKOMUNIKASI IND SPONSORED ADR | 715684106 | ADR | 475 | $19,000 | thousands by filing date | |
| HELMERICH & PAYNE INC | 423452101 | COM | 173 | $19,000 | thousands by filing date | |
| PowerShares QQQ Trust Unit Ser | 73935A104 | COM | 212 | $19,000 | thousands by filing date | |
| Nippon Telegraph Telephone Corp | 654624105 | Equity | 709 | $19,000 | thousands by filing date | |
| SOLARCITY CORP | 83416T100 | COM | 300 | $19,000 | thousands by filing date | |
| GUGGENHEIM ENHANCED EQUITY S | 40167K100 | COM | 1,000 | $19,000 | thousands by filing date | |
| TRADE STR RESIDENTIAL INC | 89255N203 | COM NEW | 2,500 | $19,000 | thousands by filing date | |
| MUELLER INDS INC COM | 624756102 | Stock | 600 | $18,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E203 | NY ARCA BIOTECH | 235 | $18,000 | thousands by filing date | |
| WERNER ENTERPRISES INC | 950755108 | COM | 700 | $18,000 | thousands by filing date | |
| HUNTSMAN CORP | 447011107 | COM | 753 | $18,000 | thousands by filing date | |
| ALPINE TOTAL DYNAMIC DIVID F | 021060207 | COM SH BEN INT N | 2,180 | $18,000 | thousands by filing date | |
| TRIANGLE PETE CORP | 89600B201 | COM NEW | 2,225 | $18,000 | thousands by filing date | |
| FORTINET INC COM | 34959E109 | Stock | 750 | $17,000 | thousands by filing date | |
| ISHARES INC MSCI GERMANY ETF | 464286806 | MSCI GERMANY ETF | 545 | $17,000 | thousands by filing date | |
| ISHARES INC | 464286749 | MSCI SWITZERLAND | 490 | $17,000 | thousands by filing date | |
| KAYNE ANDERSON NEXTGEN ENERGY | 48661E108 | COM | 500 | $17,000 | thousands by filing date | |
| ISHARES INC | 464286756 | MSCI SWEDEN ETF | 455 | $17,000 | thousands by filing date | |
| IPATH S&P GSCI CRUDE OIL TOTAL | 06738C786 | EXCHANGE TRADED | 700 | $17,000 | thousands by filing date | |
| YOUKU.COM INC | 98742U100 | COMMON STOCK-FO | 600 | $17,000 | thousands by filing date | |
| OVASCIENCE INC | 69014Q101 | COM | 1,900 | $17,000 | thousands by filing date | |
| ING GLOBAL EQUITY DIVID & | 45684E107 | COM | 1,900 | $17,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN FD & | 73935X849 | ETF - EQUITY | 610 | $17,000 | thousands by filing date | |
| DAVITA INC COM | 23918K108 | Stock | 228 | $16,000 | thousands by filing date | |
| NRG ENERGY INC COM NEW | 629377508 | Stock | 502 | $16,000 | thousands by filing date | |
| SUN CMNTYS INC COM | 866674104 | REIT | 350 | $16,000 | thousands by filing date | |
| MGM RESORTS INTERNATIONAL | 552953101 | COM | 600 | $16,000 | thousands by filing date | |
| ISHARES TR | 464288836 | U.S. PHARMA ETF | 125 | $16,000 | thousands by filing date | |
| LEGGETT & PLATT INC | 524660107 | COM | 500 | $16,000 | thousands by filing date | |
| ISHARES TR | 464287846 | DOW JONES US ETF | 170 | $16,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X863 | ST DOW INTL ETF | 398 | $16,000 | thousands by filing date | |
| COMPUWARE CORP | 205638109 | COM | 1,500 | $16,000 | thousands by filing date | |
| PROSHARES TR | 74347B300 | PSHS ULSHT SP500 | 550 | $16,000 | thousands by filing date | |
| ISHARES INC MSCI ITALY CAP | 464286855 | ETF | 897 | $16,000 | thousands by filing date | |
| Applied Materials,Inc. | 038222105 | COM | 735 | $15,000 | thousands by filing date | |
| Vanguard Intermediate-Term Bond ETF | 921937819 | SHS | 175 | $15,000 | thousands by filing date | |
| XCELENERGY INC | 98389B100 | COM | 500 | $15,000 | thousands by filing date | |
| PPL CORP COM | 69351T106 | Stock | 457 | $15,000 | thousands by filing date | |
| HUNTINGTON INGALLS INDS INC COM | 446413106 | Stock | 150 | $15,000 | thousands by filing date | |
| PNC FINL SVCS GROUP INC COM | 693475105 | Stock | 170 | $15,000 | thousands by filing date | |
| PERRIGO CO PLC SHS | G97822103 | Stock | 100 | $15,000 | thousands by filing date | |
| ORANGE SPONSORED ADR | 684060106 | SPONSORED ADR | 1,040 | $15,000 | thousands by filing date | |
| CYS INVTS INC | 12673A108 | COM | 1,800 | $15,000 | thousands by filing date | |
| UBS AG ETRACS SILVER SHARES COVERED CALL ETNS DUE APRIL 21, 2033 ETP 2022-2 | 22542D449 | ETF | 1,000 | $15,000 | thousands by filing date | |
| BOB EVANS FARMS | 096761101 | COM | 305 | $15,000 | thousands by filing date | |
| CALL APPLE INC | C00510000 | CALL | 5 | $15,000 | thousands by filing date | |
| Vanguard Intermediate-Term Corporate Bond ETF | 92206C870 | SHS | 159 | $14,000 | thousands by filing date | |
| NOVARTIS AG SPONSORED ADR | 66987V109 | ADR | 165 | $14,000 | thousands by filing date | |
| ISHARES 1-5 YEAR INVESTMENT GRADE CORPORATE BOND ETF | 464288646 | ETF | 132 | $14,000 | thousands by filing date | |
| ECOLAB INC COM | 278865100 | Stock | 130 | $14,000 | thousands by filing date | |
| MCCORMICK & CO INC COM NON VTG | 579780206 | Stock | 200 | $14,000 | thousands by filing date | |
| ISHARES TR | 464287341 | GLOBAL ENERG ETF | 320 | $14,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829F108 | COM | 1,405 | $14,000 | thousands by filing date | |
| ISHARES INC MSCI BRAZIL ETF | 464286400 | MSCI BRAZIL ETF | 300 | $14,000 | thousands by filing date | |
| BAXTER INTL INC | 071813109 | COM | 196 | $14,000 | thousands by filing date | |
| ALLSPRING INCOME OPPORTUNITIES | 94987B105 | INC OPPTY FD | 1,500 | $14,000 | thousands by filing date | |
| GLADSTONE INVESTMENT CORP | 376546107 | COM | 1,664 | $14,000 | thousands by filing date | |
| HOOKER FURNISHINGS CORPORATI | 439038100 | COM | 900 | $14,000 | thousands by filing date | |
| FIRST TR EMERGING ETF MARKETS SMALL CAP ALPHADEX FUND | 33737J307 | ETF | 390 | $14,000 | thousands by filing date | |
| YAHOO INC | 984332106 | COM | 400 | $14,000 | thousands by filing date | |
| ASHFORD HOSPITALITY TR INC | 044103505 | 9% CUM PFD SER E | 500 | $14,000 | thousands by filing date | |
| GTX INC | 40052B108 | COM | 9,350 | $14,000 | thousands by filing date | |
| UNITED STATES NATL GAS FUND | 912318201 | UNIT PAR $0.001 | 579 | $14,000 | thousands by filing date | |
| PROSHARES ULTRA | 74347R719 | PSHS ULTRA O&G | 202 | $14,000 | thousands by filing date | |
| DOLBY LABORATORIES INC COM CL A | 25659T107 | Stock | 300 | $13,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010L103 | COM | 715 | $13,000 | thousands by filing date | |
| ISHARES INC | 464286525 | MSCI GBL MIN VOL | 200 | $13,000 | thousands by filing date | |
| WESTLAKE CORPORATION | 960413102 | COM | 200 | $13,000 | thousands by filing date | |
| ISHARES TR | 464287564 | SELECT US REIT | 160 | $13,000 | thousands by filing date | |
| WYNDHAM DESTINATIONS INC | 98310W108 | COM | 175 | $13,000 | thousands by filing date | |
| NATIONAL OILWELL VARCO INC | 637071101 | COM | 168 | $13,000 | thousands by filing date | |
| TWENTY FIRST CENTY FOX INC | 90130A101 | CL A | 400 | $13,000 | thousands by filing date | |
| EAGLE PHARMACEUTICALS INC | 269796108 | COM | 1,000 | $13,000 | thousands by filing date | |
| ISHARES INC MSCI FRANCE ETF | 464286707 | ETF | 461 | $13,000 | thousands by filing date | |
| EBIX INC | 278715206 | COM NEW | 750 | $13,000 | thousands by filing date | |
| POWERSHARES | 73936Q108 | EXCHANGE TRADED | 486 | $13,000 | thousands by filing date | |
| VANTAGE DRILLING COMPANY | G93205113 | ORD SHS | 7,500 | $13,000 | thousands by filing date | |
| ELECTRONICS FOR IMAGING INC | 286082102 | COM | 300 | $13,000 | thousands by filing date | |
| iShares Expanded Tech Sector ETF | 464287549 | SHS | 135 | $12,000 | thousands by filing date | |
| Vanguard Small-Cap Value ETF | 922908611 | SHS | 120 | $12,000 | thousands by filing date | |
| ISHARES TR | 464287234 | MSCI EMG MKT ETF | 281 | $12,000 | thousands by filing date | |
| ISHARES RUSSELL MID-CAP VALUE ETF | 464287473 | ETF | 181 | $12,000 | thousands by filing date | |
| HIMAX TECHNOLOGIES INC SPONSORED ADR | 43289P106 | ADR | 1,000 | $12,000 | thousands by filing date | |
| TENNECO INC | 880349105 | COM | 200 | $12,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A789 | ST STR SP INS | 200 | $12,000 | thousands by filing date | |
| Chubb Corporation | 171232101 | Equity | 132 | $12,000 | thousands by filing date | |
| FIRST TR STRATEGIC HIGH INC | 337353304 | COM SHS NEW | 722 | $12,000 | thousands by filing date | |
| STATOIL ASA | 85771P102 | SPONSORED ADR | 431 | $12,000 | thousands by filing date | |
| Western Midstream Partners | 95825r103 | COM | 242 | $12,000 | thousands by filing date | |
| INTEGRYS ENERGY GROUP INC | 45822P105 | COM | 200 | $12,000 | thousands by filing date | |
| CALUMET SPECIALTY PRODS PART | 131476103 | COM | 455 | $12,000 | thousands by filing date | |
| REGENCY ENERGY PARTNERS ML | 75885Y107 | COM | 440 | $12,000 | thousands by filing date | |
| LPL FINL HLDGS INC COM | 50212V100 | Stock | 200 | $11,000 | thousands by filing date | |
| TAL ED GROUP SPONSORED ADS | 874080104 | ADR | 500 | $11,000 | thousands by filing date | |
| DIGITAL RLTY TR INC COM | 253868103 | REIT | 199 | $11,000 | thousands by filing date | |
| NOVO-NORDISK A S ADR | 670100205 | ADR | 250 | $11,000 | thousands by filing date | |
| EATON VANCE LIMITED DURATION | 27828H105 | COM | 700 | $11,000 | thousands by filing date | |
| KRANESHARES TRUST CSI CHI INTERNET | 500767306 | CSI CHI INTERNET | 300 | $11,000 | thousands by filing date | |
| NUVEEN MUN CR INCOME FD | 67070X101 | COM SH BEN INT | 850 | $11,000 | thousands by filing date | |
| PENNANTPARK INVESTMENT CORPORA | 708062104 | COM | 1,000 | $11,000 | thousands by filing date | |
| BARRICK GOLD CORP | 067901108 | COM | 600 | $11,000 | thousands by filing date | |
| PIMCO DYNAMIC CR INCOME FD | 72202D106 | COM SHS | 475 | $11,000 | thousands by filing date | |
| PETSMART INC | 716768106 | COM | 155 | $11,000 | thousands by filing date | |
| ABERDEEN INDIA FD INC | 454089103 | COM | 486 | $11,000 | thousands by filing date | |
| AMERICAN CAPITAL AGENCY CORP | 02503X105 | COMMON STOCK | 500 | $11,000 | thousands by filing date | |
| SUNOCO LOGISTICS PRTNRS L P | 86764L108 | COM UNITS | 119 | $11,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q207 | DWA EMRG MKTS | 601 | $11,000 | thousands by filing date | |
| Vanguard Mid-Cap Value ETF | 922908512 | SHS | 115 | $10,000 | thousands by filing date | |
| ISHARES TR | 464288513 | IBOXX HI YD ETF | 107 | $10,000 | thousands by filing date | |
| MAGNA INTL INC COM | 559222401 | Stock | 101 | $10,000 | thousands by filing date | |
| HUNTINGTON BANCSHARES INC COM | 446150104 | Stock | 1,000 | $10,000 | thousands by filing date | |
| TERADYNE INC COM | 880770102 | Stock | 500 | $10,000 | thousands by filing date | |
| J & J SNACK FOODS CORP COM | 466032109 | Stock | 100 | $10,000 | thousands by filing date | |
| MCKESSON CORP COM | 58155Q103 | Stock | 54 | $10,000 | thousands by filing date | |
| SPDR SER TR | 78464A870 | S&P BIOTECH | 70 | $10,000 | thousands by filing date | |
| TC PIPELINES LP | 87233Q108 | UT COM LTD PRT | 215 | $10,000 | thousands by filing date | |
| BUCKEYE PARTNERS LP (BPL) | 118230101 | UNIT LTD PARTN | 138 | $10,000 | thousands by filing date | |
| ISHARES INDIA 50 ETF | 464289529 | UIT EXCHANGE TRADED | 400 | $10,000 | thousands by filing date | |
| WESTERN GAS PARTNERS LP | 958254104 | COM UNIT LP IN | 150 | $10,000 | thousands by filing date | |
| TRIANGLE CAP CORP | 895848109 | COM | 400 | $10,000 | thousands by filing date | |
| STERIS CORP | 859152100 | COMMON STOCK | 200 | $10,000 | thousands by filing date | |
| TEEKAY OFFSHORE PARTNERS LP | Y8565J101 | COMMON STOCK | 300 | $10,000 | thousands by filing date | |
| MIDCOAST ENERGY PARTNERSHIP LP | 59564N103 | COMMON STOCK | 500 | $10,000 | thousands by filing date | |
| HSBC HLDGS PLC | 404280604 | ADR A 1/40PF A | 387 | $10,000 | thousands by filing date | |
| COVIDIEN PLC | G2554F113 | SHS | 140 | $10,000 | thousands by filing date | |
| MYLAN INC | 628530107 | COM | 200 | $10,000 | thousands by filing date | |
| ALBERTSONS CO SHS CL A CLASS CLASS A | 039380100 | COM | 2,000 | $10,000 | thousands by filing date | |
| INFOBLOX INC | 45672H104 | COM | 500 | $10,000 | thousands by filing date | |
| GOLAR LNG PARTNERS LP | Y2745C102 | COM UNITS LPI | 333 | $10,000 | thousands by filing date | |
| ATLAS PIPELINE PARTNERS LP | 049392103 | UNIT L P INT | 300 | $10,000 | thousands by filing date | |
| Accelerate Diagnostics | 00430H102 | COM | 473 | $10,000 | thousands by filing date | |
| ENBRIDGE ENERGY PARTNERS L P | 29250R106 | Domestic Common | 350 | $10,000 | thousands by filing date | |
| CPFL ENERGIA SA SPONS ADR | 126153105 | SPONS ADR | 600 | $10,000 | thousands by filing date | |
| IMMUNOCELLULAR THERAPEUTICS | 452536105 | COM | 8,000 | $10,000 | thousands by filing date | |
| GAS NAT INC | 367204104 | COM | 1,000 | $10,000 | thousands by filing date | |
| Crestwood Mid Lp New | 226378107 | UNIT LTD PARTNER | 425 | $10,000 | thousands by filing date | |
| TONIX PHARMACEUTICALS HOLDING | 890260201 | COM NEW | 1,000 | $10,000 | thousands by filing date | |
| Vanguard Mid-Cap Growth ETF | 922908538 | SHS | 98 | $9,000 | thousands by filing date | |
| CONAGRA FOODS INC | 205887102 | COM | 300 | $9,000 | thousands by filing date | |
| ISHARES TR | 464287689 | RUSSELL 3000 ETF | 83 | $9,000 | thousands by filing date | |
| ISHARES TR | 464287184 | CHINA LG-CAP ETF | 265 | $9,000 | thousands by filing date | |
| BANK OF NY MELLON CORP COM | 064058100 | Stock | 264 | $9,000 | thousands by filing date | |
| DEVON ENERGY CORP NEW COM | 25179M103 | Stock | 135 | $9,000 | thousands by filing date | |
| ISHARES TR | 464287770 | U.S. FIN SVC ETF | 104 | $9,000 | thousands by filing date | |
| VANGUARD BD INDEX FDS | 921937793 | LONG TERM BOND | 108 | $9,000 | thousands by filing date | |
| SCHEIN HENRY INC | 806407102 | COM | 73 | $9,000 | thousands by filing date | |
| NORDSTROM INC | 655664100 | COM | 145 | $9,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME OP | 6706EN100 | COM SHS | 751 | $9,000 | thousands by filing date | |
| BLACKROCK CREDIT ALLOCATION IN | 092508100 | COM | 700 | $9,000 | thousands by filing date | |
| GW PHARMACEUTICALS PLC | 36197T103 | ADS | 150 | $9,000 | thousands by filing date | |
| L BRANDS INC | 501797104 | COM | 157 | $9,000 | thousands by filing date | |
| SEATTLE GENETICS INC | 812578102 | COM | 200 | $9,000 | thousands by filing date | |
| PLUM CREEK TIMBER CO INC | 729251108 | COM | 220 | $9,000 | thousands by filing date | |
| MFA FINL INC | 55272X102 | COM | 1,200 | $9,000 | thousands by filing date | |
| SILVERCORP METALS INC COMP | 82835P103 | EQUITY | 4,500 | $9,000 | thousands by filing date | |
| Anywhere Real Estate Inc | 75605Y106 | Common Stock | 200 | $9,000 | thousands by filing date | |
| COHEN & STEERS MLP INC & ENR | 19249B106 | COM SHS | 500 | $9,000 | thousands by filing date | |
| REYNOLDS AMERICAN INC | 761713106 | COMMON STOCK | 167 | $9,000 | thousands by filing date | |
| ENERGY XXI (BERMUDA) LTD | G10082140 | USD UNRS SHS | 400 | $9,000 | thousands by filing date | |
| RESOURCE CAP CORP REIT | 76120W302 | COM | 1,600 | $9,000 | thousands by filing date | |
| Direxion Daily Gold Miners Bul | 25459Y389 | ETP | 249 | $9,000 | thousands by filing date | |
| Danaher Corporation | 235851102 | COM | 100 | $8,000 | thousands by filing date | |
| Morgan Stanley | 617446448 | COM | 250 | $8,000 | thousands by filing date | |
| ISHARESAGENCYBONDETF | 464288166 | STOK | 76 | $8,000 | thousands by filing date | |
| SMITH & NEPHEW PLC SPDN ADR NEW | 83175M205 | ADR | 100 | $8,000 | thousands by filing date | |
| LAS VEGAS SANDS CORP COM | 517834107 | Stock | 100 | $8,000 | thousands by filing date | |
| DARDEN RESTAURANTS INC COM | 237194105 | Stock | 153 | $8,000 | thousands by filing date | |
| OLD REP INTL CORP COM | 680223104 | Stock | 500 | $8,000 | thousands by filing date | |
| BLACKROCK ENHANCED EQUITY DI | 09251A104 | COM | 1,026 | $8,000 | thousands by filing date | |
| BALL CORP | 058498106 | COM | 144 | $8,000 | thousands by filing date | |
| CALAMOS CONV & HIGH INCOME F | 12811P108 | COM SHS | 625 | $8,000 | thousands by filing date | |
| NEWS CORP NEW | 65249B208 | CL B | 500 | $8,000 | thousands by filing date | |
| SOUTH JERSEY INDUSTRIES INC | 838518108 | COM | 140 | $8,000 | thousands by filing date | |
| CIGNA CORPORATION | 125509109 | COM | 100 | $8,000 | thousands by filing date | |
| CHINA VALVES TECHNOLOGY INC COM NEW | 169476207 | COM | 7,450 | $8,000 | thousands by filing date | |
| PREFERRED APT CMNTYS INC | 74039L103 | COM | 1,000 | $8,000 | thousands by filing date | |
| TYCO INTERNATIONAL LTD | H89128104 | SHS | 196 | $8,000 | thousands by filing date | |
| NATURAL RESOURCE PARTNERS L | 63900P103 | COM UNIT L P | 500 | $8,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y371 | DLY S&P 500 BEAR | 260 | $8,000 | thousands by filing date | |
| CME Group Inc. Class A | 12572Q105 | COM | 90 | $7,000 | thousands by filing date | |
| iShares Expanded Tech-Software Sector ETF | 464287515 | SHS | 83 | $7,000 | thousands by filing date | |
| Micron Technology,Inc. | 595112103 | COM | 300 | $7,000 | thousands by filing date | |
| Vanguard Mega Cap Growth ETF | 921910816 | SHS | 97 | $7,000 | thousands by filing date | |
| AIR PRODS & CHEMS INC | 009158106 | COM | 63 | $7,000 | thousands by filing date | |
| SOUTHWESTAIRLSCO | 844741108 | STOK | 300 | $7,000 | thousands by filing date | |
| INGREDION INC COM | 457187102 | Stock | 100 | $7,000 | thousands by filing date | |
| HONDA MOTOR CO LTD ADR ECH CNV IN 3 | 438128308 | ADR | 206 | $7,000 | thousands by filing date | |
| REPUBLIC SVCS INC COM | 760759100 | Stock | 200 | $7,000 | thousands by filing date | |
| MEDICAL PROPERTIES TRUST INC COM | 58463J304 | REIT | 552 | $7,000 | thousands by filing date | |
| EXACT SCIENCES CORP COM | 30063P105 | Stock | 500 | $7,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W760 | INTL SMCAP DIV | 100 | $7,000 | thousands by filing date | |
| ISHARES TR | 464287630 | RUS 2000 VAL ETF | 74 | $7,000 | thousands by filing date | |
| LABORATORY CORP OF AMERICA | 50540R409 | COM NEW | 72 | $7,000 | thousands by filing date | |
| MOBILE TELESYSTEMS PJSC | 607409109 | SPONSORED ADR | 400 | $7,000 | thousands by filing date | |
| ADVENT CONVERTIBLE AND INCOME | 00764C109 | COM | 399 | $7,000 | thousands by filing date | |
| AMERICA MOVIL SA DE CV-ADR | 02364W105 | SPON ADR L SHS | 372 | $7,000 | thousands by filing date | |
| NORTHERN OIL & GAS INC NEV | 665531109 | COM | 500 | $7,000 | thousands by filing date | |
| CABELAS INC | 126804301 | COM | 100 | $7,000 | thousands by filing date | |
| RED ROBIN GOURMET BURGERS IN | 75689M101 | COM | 100 | $7,000 | thousands by filing date | |
| CARLYLE GROUP L P | 14309L102 | COM UTS LTD PTN | 200 | $7,000 | thousands by filing date | |
| ALPINE GLOBAL PREMIER PPTYS | 02083A103 | COM SBI | 1,043 | $7,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS INC | 67020Y100 | COM | 400 | $7,000 | thousands by filing date | |
| BP PRUDHOE BAY RTY TR | 055630107 | TRUS | 77 | $7,000 | thousands by filing date | |
| HCC INS HLDGS INC | 404132102 | COM | 151 | $7,000 | thousands by filing date | |
| NUVEEN GBL VL OPPORTUNITIES | 6706EH103 | COM | 572 | $7,000 | thousands by filing date | |
| iShares Floating Rate Bond ETF | 46429B655 | SHS | 125 | $6,000 | thousands by filing date | |
| Lowes Companies,Inc. | 548661107 | COM | 118 | $6,000 | thousands by filing date | |
| ENBRIDGE INC COM | 29250N105 | Stock | 122 | $6,000 | thousands by filing date | |
| SOUTHWEST GAS HLDGS INC COM | 844895102 | Stock | 107 | $6,000 | thousands by filing date | |
| WILLIAMS COS INC COM | 969457100 | Stock | 150 | $6,000 | thousands by filing date | |
| DUFF & PHELPS UTLITY AND INF | 26433C105 | COM | 321 | $6,000 | thousands by filing date | |
| OGE ENERGY CORP | 670837103 | COM | 156 | $6,000 | thousands by filing date | |
| SPDR SER TR | 78464A821 | S&P 400 MDCP GRW | 50 | $6,000 | thousands by filing date | |
| TORO CO | 891092108 | COM | 100 | $6,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY | 09254E103 | COM | 440 | $6,000 | thousands by filing date | |
| ISHARES INC | 464286509 | MSCI CDA ETF | 208 | $6,000 | thousands by filing date | |
| TE CONNECTIVITY LTD | H84989104 | SHS | 96 | $6,000 | thousands by filing date | |
| COMPANHIA SIDERURGICA NACION | 20440W105 | SPONSORED ADR | 1,425 | $6,000 | thousands by filing date | |
| MORGAN STANLEY CHINA A SH FD | 617468103 | COM | 299 | $6,000 | thousands by filing date | |
| 3D SYSTEMS CORP | 88554D205 | COMMON STOCK | 100 | $6,000 | thousands by filing date | |
| POWERSHARES | 73936T573 | EXCHANGE TRADED | 215 | $6,000 | thousands by filing date | |
| EXCO RESOURCES INC | 269279402 | COMMON STOCK | 1,000 | $6,000 | thousands by filing date | |
| KERYX BIOPHARMACEUTICALS | 492515101 | COMMON STOCK | 350 | $6,000 | thousands by filing date | |
| AMERICAN SUPERCONDUCTOR CORP | 030111108 | COM | 3,700 | $6,000 | thousands by filing date | |
| CREE INC | 225447101 | COM | 100 | $6,000 | thousands by filing date | |
| THE ADT CORPORATION | 00101J106 | COM | 200 | $6,000 | thousands by filing date | |
| CONSOL ENERGY INC | 20854P109 | COM | 150 | $6,000 | thousands by filing date | |
| Invesco Intl Developed Low Vol | 73937B688 | INTL DEV LOWVL | 200 | $6,000 | thousands by filing date | |
| ITC HLDGS CORP | 465685105 | COM | 150 | $6,000 | thousands by filing date | |
| EXELIS INC | 30162A108 | COM | 300 | $6,000 | thousands by filing date | |
| AVG TECHNOLOGIES | N07831105 | SHS | 300 | $6,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060u613 | BRAZL SMCP ETF | 200 | $6,000 | thousands by filing date | |
| WISDOMTREE AUSTRALIA | 97717W810 | AUSTRALIA DIV FD | 100 | $6,000 | thousands by filing date | |
| CALL SPY OPTION | C00182000 | CALL | 10 | $6,000 | thousands by filing date | |
| CAPITAL ONE FINL CORP | 14040H105 | COM | 62 | $5,000 | thousands by filing date | |
| United Parcel Service,Inc. Class B | 911312106 | COM | 50 | $5,000 | thousands by filing date | |
| BUCKLE INC COM | 118440106 | Stock | 100 | $5,000 | thousands by filing date | |
| BANCO SANTANDER SA ADR | 05964H105 | ADR | 540 | $5,000 | thousands by filing date | |
| CULLEN FROST BANKERS INC COM | 229899109 | Stock | 61 | $5,000 | thousands by filing date | |
| AUTOZONE INC COM | 053332102 | Stock | 10 | $5,000 | thousands by filing date | |
| CLEAN HARBORS INC COM | 184496107 | Stock | 100 | $5,000 | thousands by filing date | |
| ISHARES TR | 464288661 | 3 7 YR TREAS BD | 44 | $5,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W281 | EMG MKTS SMCAP | 100 | $5,000 | thousands by filing date | |
| BRADY CORP | 104674106 | CL A | 200 | $5,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R408 | ST TERM HIGH ETF | 165 | $5,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 450 | $5,000 | thousands by filing date | |
| TRANSCANADA CORP | 89353D107 | COM | 100 | $5,000 | thousands by filing date | |
| NUVEEN N Y SELECT TAX FREE I | 67063V104 | SH BEN INT | 400 | $5,000 | thousands by filing date | |
| HEIDELBERG MATLS AG FSPONSORED ADR 1 ADR REPS 0.2 ORD SHS | 427093109 | ADR | 1,000 | $5,000 | thousands by filing date | |
| FIESTA RESTAURANT GROUP INC | 31660B101 | COM | 100 | $5,000 | thousands by filing date | |
| KKR FINL HLDGS LLC | 48248A306 | COM | 400 | $5,000 | thousands by filing date | |
| ANWORTH MORTGAGE ASSET CP | 037347101 | COM | 1,000 | $5,000 | thousands by filing date | |
| CYTEC INDS INC | 232820100 | COM | 50 | $5,000 | thousands by filing date | |
| ACHILLION PHARMACEUTICALS IN | 00448Q201 | COM | 1,400 | $5,000 | thousands by filing date | |
| NUVEEN DIV ADVANTAGE MUN FD | 67070F100 | COM | 400 | $5,000 | thousands by filing date | |
| CHELSEA THERAPEUTICS INTL LT | 163428105 | COM | 900 | $5,000 | thousands by filing date | |
| GUGGENHEIM FRONTIER MARKETS ETF | 18383Q838 | COM | 300 | $5,000 | thousands by filing date | |
| Guggenheim ETF Trust 2 Timber | 18383Q879 | GUGG TIMBER ETF | 200 | $5,000 | thousands by filing date | |
| Energy Select Sector SPDR Fund | 81369Y506 | SHS | 47 | $4,000 | thousands by filing date | |
| iShares U.S. Aerospace & Defense ETF | 464288760 | SHS | 36 | $4,000 | thousands by filing date | |
| Vanguard Consumer Staples ETF | 92204A207 | SHS | 34 | $4,000 | thousands by filing date | |
| Vanguard FTSE Pacific ETF | 922042866 | SHS | 74 | $4,000 | thousands by filing date | |
| PEMBINA PIPELINE CORP COM | 706327103 | Stock | 100 | $4,000 | thousands by filing date | |
| AMERICAN AIRLINES GROUP INC COM | 02376R102 | Stock | 100 | $4,000 | thousands by filing date | |
| ZIMMER BIOMET HOLDINGS INC COM | 98956P102 | Stock | 41 | $4,000 | thousands by filing date | |
| FIDELITY NATL INFORMATION SVCS COM | 31620M106 | Stock | 75 | $4,000 | thousands by filing date | |
| TYSON FOODS INC CL A | 902494103 | Stock | 100 | $4,000 | thousands by filing date | |
| STARWOOD PPTY TR INC COM | 85571B105 | REIT | 175 | $4,000 | thousands by filing date | |
| TEMPLETON EMERGING MKTS INCO | 880192109 | COM | 300 | $4,000 | thousands by filing date | |
| ISHARES TR LATN AMER 40 ETF | 464287390 | LATN AMER 40 ETF | 102 | $4,000 | thousands by filing date | |
| PINNACLE WEST CAP CORP | 723484101 | COM | 65 | $4,000 | thousands by filing date | |
| ALLSPRING GLOBAL DIVIDEND OPPO | 94987C103 | COM | 500 | $4,000 | thousands by filing date | |
| MELCO RESORTS & ENTERTAINMENT | 585464100 | ADR | 100 | $4,000 | thousands by filing date | |
| ACTVISION BLIZZARD INC | 00507V109 | COM | 175 | $4,000 | thousands by filing date | |
| SPDR CITI INTL GOVT INFLATION- | 78464A490 | FTSE INT GVT ETF | 61 | $4,000 | thousands by filing date | |
| PANERA BREAD CO | 69840W108 | CL A | 20 | $4,000 | thousands by filing date | |
| BROOKFIELD GLOBL LISTED INFR | 11273Q109 | COM SHS | 200 | $4,000 | thousands by filing date | |
| NUVEEN TAXABLE MUNICPAL INM FD COM | 67074C103 | CEF | 202 | $4,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOME OP | 95766K109 | COM | 602 | $4,000 | thousands by filing date | |
| SEARS HOLDINGS CORP XXX | 812350106 | COM | 76 | $4,000 | thousands by filing date | |
| YY INC. ADR | 98426T106 | SPONSORED ADS A | 50 | $4,000 | thousands by filing date | |
| HCP INC | 40414L109 | COM | 95 | $4,000 | thousands by filing date | |
| CUMBERLAND PHARMACEUTICALS I | 230770109 | COM | 1,000 | $4,000 | thousands by filing date | |
| POWERSHARES S&P SMALLCAP | 73937B803 | EXCHANGE TRADED | 100 | $4,000 | thousands by filing date | |
| STONE ENERGY CORP | 861642106 | COMMON STOCK | 97 | $4,000 | thousands by filing date | |
| WILLIS GROUP HOLDINGS LTD | G96655108 | COMMON STOCK | 100 | $4,000 | thousands by filing date | |
| WESTAR ENERGY INC | 95709T100 | COMMON STOCK | 100 | $4,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TRUST I | 80007T101 | COMMON STOCK | 600 | $4,000 | thousands by filing date | |
| Prologis | 743410102 | COM | 89 | $4,000 | thousands by filing date | |
| CEDAR FAIR L P | 150185106 | DEPOSITRY UNIT | 75 | $4,000 | thousands by filing date | |
| TEMPLETON GLOBAL INCOME FD | 880198106 | COM | 504 | $4,000 | thousands by filing date | |
| SPECTRA ENERGY CORP | 847560109 | COM | 100 | $4,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 250 | $4,000 | thousands by filing date | |
| Rentech Nitrogen Partners, LP | 760113100 | LTD | 200 | $4,000 | thousands by filing date | |
| HORNBECK OFFSHORE SVCS INC N | 440543106 | COM | 95 | $4,000 | thousands by filing date | |
| ARIAD PHARMACEUTICALS INC | 04033A100 | COM | 500 | $4,000 | thousands by filing date | |
| ARTHROCARE CORP | 043136100 | COM | 80 | $4,000 | thousands by filing date | |
| MCDERMOTT INTL INC | 580037109 | COM | 500 | $4,000 | thousands by filing date | |
| ION GEOPHYSICAL CORP | 462044108 | COM | 1,000 | $4,000 | thousands by filing date | |
| POWERSHARESETF TRUST DYN SFTWR | 73935X773 | ETF - EQUITY | 120 | $4,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W809 | GUG S&P SC600 PG | 57 | $4,000 | thousands by filing date | |
| ZHONE TECHNOLOGIES INC NEW | 98950P884 | COM | 1,000 | $4,000 | thousands by filing date | |
| Analog Devices,Inc. | 032654105 | COM | 54 | $3,000 | thousands by filing date | |
| Charles Schwab Corp | 808513105 | COM | 97 | $3,000 | thousands by filing date | |
| iShares U.S. Medical Devices ETF | 464288810 | SHS | 34 | $3,000 | thousands by filing date | |
| Vanguard Communication Services ETF | 92204A884 | SHS | 33 | $3,000 | thousands by filing date | |
| EQUITY RESIDENTIAL | 29476L107 | SH BEN INT | 54 | $3,000 | thousands by filing date | |
| ANHEUSER BUSCH INBEV SA NV SPONSORED ADR | 03524A108 | ADR | 25 | $3,000 | thousands by filing date | |
| FLOWERS FOODS INC COM | 343498101 | Stock | 150 | $3,000 | thousands by filing date | |
| GRACO INC COM | 384109104 | Stock | 40 | $3,000 | thousands by filing date | |
| EBAY INC. COM | 278642103 | Stock | 50 | $3,000 | thousands by filing date | |
| WESTAMERICA BANCORPORATION COM | 957090103 | Stock | 52 | $3,000 | thousands by filing date | |
| ISHARES TR | 464287739 | U.S. REAL ES ETF | 39 | $3,000 | thousands by filing date | |
| ISHARES TR | 464287812 | US CONSM STAPLES | 30 | $3,000 | thousands by filing date | |
| ISHARES TR | 464287762 | US HLTHCARE ETF | 23 | $3,000 | thousands by filing date | |
| ISHARES TR | 464287754 | US INDUSTRIALS | 32 | $3,000 | thousands by filing date | |
| NORDSON CORP | 655663102 | COM | 40 | $3,000 | thousands by filing date | |
| SPROTT PHYSICAL SILVER TR | 85207K107 | TR UNIT | 390 | $3,000 | thousands by filing date | |
| ISHARES INC MSCI STH KOR ETF | 464286772 | MSCI STH KOR ETF | 50 | $3,000 | thousands by filing date | |
| ISHARES INC MSCI HONG KG ETF | 464286871 | MSCI HONG KG ETF | 150 | $3,000 | thousands by filing date | |
| ISHARES S&P GSCI COMMODITY- | 46428R107 | UNIT BEN INT | 83 | $3,000 | thousands by filing date | |
| CANADIAN PACIFIC RAILWAYS | 13645T100 | COM | 20 | $3,000 | thousands by filing date | |
| CBS CORP NEW | 124857202 | CL B | 43 | $3,000 | thousands by filing date | |
| ISHARES TR | 464287192 | US TRSPRTION | 23 | $3,000 | thousands by filing date | |
| BT GROUP-ADR | 05577E101 | ADR | 44 | $3,000 | thousands by filing date | |
| GENESEE & WYOMING INC | 371559105 | CL A | 30 | $3,000 | thousands by filing date | |
| HARRIS CORP INC | 413875105 | COM | 43 | $3,000 | thousands by filing date | |
| PROSHARES TR II | 74347W882 | ULTRASHRT EURO | 200 | $3,000 | thousands by filing date | |
| James Hardie Industries PLC | 47030M106 | Depositary Receipt | 50 | $3,000 | thousands by filing date | |
| MANNKIND CORP | 56400P201 | COM | 685 | $3,000 | thousands by filing date | |
| PDL BIOPHARMA INC | 69329Y104 | COM | 400 | $3,000 | thousands by filing date | |
| POLYCOM | 73172K104 | COMMON STOCK | 200 | $3,000 | thousands by filing date | |
| POWERSHARES | 73936B408 | EXCHANGE TRADED | 100 | $3,000 | thousands by filing date | |
| ARENA PHARMECEUTICALS INC | 040047102 | COMMON STOCK | 400 | $3,000 | thousands by filing date | |
| ST JUDE MED INC | 790849103 | COM | 53 | $3,000 | thousands by filing date | |
| L-3 COMMUNICATIONS HLDGS INC | 502424104 | COM | 25 | $3,000 | thousands by filing date | |
| NORTHEAST UTILS | 664397106 | COM | 58 | $3,000 | thousands by filing date | |
| PANDORA MEDIA INC | 698354107 | COM | 100 | $3,000 | thousands by filing date | |
| FOREST CITY ENTERPRISES INC | 345550107 | CL A | 142 | $3,000 | thousands by filing date | |
| SALIX PHARMACEUTICALS INC | 795435106 | COM | 25 | $3,000 | thousands by filing date | |
| DISCOVERY LABORATORIES INC N | 254668403 | COM NEW | 1,280 | $3,000 | thousands by filing date | |
| Powershs Exch Trad Fd Tr | 73935X500 | WNDRHLL CLN EN | 400 | $3,000 | thousands by filing date | |
| SPDR SERIES TRUST OILGAS EQUIP | 78464A748 | COM | 57 | $3,000 | thousands by filing date | |
| NUVEEN CA DIV ADVANTG MUN FD | 67069X104 | COM | 225 | $3,000 | thousands by filing date | |
| EMCORE CORP | 290846203 | COM | 500 | $3,000 | thousands by filing date | |
| PENN WEST ENERGY TRUST | 707885109 | Stock | 328 | $3,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E747 | GLOB X NOR ETF | 150 | $3,000 | thousands by filing date | |
| CORP RES SVCS INC COM | 22004Y105 | Stock | 1,000 | $3,000 | thousands by filing date | |
| Marsh & McLennan Companies,Inc. | 571748102 | COM | 35 | $2,000 | thousands by filing date | |
| Vanguard Energy ETF | 92204A306 | SHS | 19 | $2,000 | thousands by filing date | |
| Vanguard Materials ETF | 92204A801 | SHS | 15 | $2,000 | thousands by filing date | |
| Vanguard Short-Term Bond ETF | 921937827 | SHS | 24 | $2,000 | thousands by filing date | |
| Vanguard Utilities ETF | 92204A876 | SHS | 22 | $2,000 | thousands by filing date | |
| ISHARES TR | 464288281 | JPMORGAN USD EMG | 17 | $2,000 | thousands by filing date | |
| SAREPTA THERAPEUTICS INC | 803607100 | COM | 100 | $2,000 | thousands by filing date | |
| UNUM GROUP COM | 91529Y106 | Stock | 52 | $2,000 | thousands by filing date | |
| FACTSET RESH SYS INC COM | 303075105 | Stock | 20 | $2,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001599892-14-000001 | this filing | 2014-06-12 | acceptance time not in the bulk data set |